ROBERT H. HOFFMANN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OFACCEPTANCE,WAIVERAND CONSENT NO. 2015045024901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Robert H. Hoffmann, Respondent Registered Representative CRD No. 4008798 Pursoant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2015045024901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4008798

Other names1

Also known as1

ROBERT HAYES HOFFMANN

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